Securities Enforcement Forum West

Speaking Engagement | May.09.2019 | 7am - 5pm (Pacific Standard Time)

Four Seasons Hotel Silicon Valley

Please join Orrick partners James Kramer and Kenneth Herzinger at Securities Enforcement Forum West 2019.  This unique, one-day event brings together current and former senior SEC and DOJ officials, leading securities enforcement and white collar attorneys, in-house counsel and compliance executives, and other top professionals in the field.

Securities Enforcement Forum West 2019 will feature Keynotes from David L. Anderson, United States Attorney for the Northern District of California; and Hester M. Peirce, Commissioner, U.S. Securities and Exchange Commission. It will also include a “Director’s Panel” featuring Michele Wein Layne, Director of the SEC’s Los Angeles Regional Office, as well as several other former SEC Regional Directors. The event will feature a stellar group of speakers, faculty and sponsors — including current senior SEC enforcement officials and over two dozen other luminaries in the securities enforcement field — will discuss the most important issues now facing attorneys and professionals who work in this area.

CLE Credits Available: Y

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Practice:

  • Securities Litigation, Class Actions and Shareholder Derivative Lawsuits
  • White Collar, Investigations, Securities Litigation & Compliance
  • Trials

James N. Kramer Partner Securities Litigation, Class Actions and Shareholder Derivative Lawsuits, White Collar, Investigations, Securities Litigation & Compliance

San Francisco; Silicon Valley

James N. Kramer leads Orrick's Securities Litigation Practice. Jim has more than 25 years of experience representing companies, officers and directors in shareholder class actions, derivative suits and regulatory proceedings.

Jim is acknowledged by Chambers as a "Leader in Their Field" for Securities Litigation and has also been acknowledged as one of "America's Leading Litigators" by Benchmark.

Jim has extensive experience representing companies and individuals in securities class actions, derivative actions, merger and acquisition related litigation, SEC enforcement proceedings and other complex commercial litigation. In addition, he has extensive experience representing board committees in internal investigations, including SEC- and SRO-related investigations.

Jim regularly advises companies on corporate governance, fiduciary duty and disclosure issues. He is a frequent lecturer on issues involving securities matters and class action litigation.

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Practice:

  • White Collar, Investigations, Securities Litigation & Compliance
  • Government Investigations and Enforcement Actions
  • Internal Investigations
  • FCPA & Anti–Corruption
  • Whistleblower & Corporate Investigations
  • Securities Litigation, Class Actions and Shareholder Derivative Lawsuits
  • ERISA & Benefits Litigation
  • Corporate Governance
  • Trials
  • Blockchain and Cryptocurrency

Kenneth Herzinger Partner White Collar, Investigations, Securities Litigation & Compliance, Government Investigations and Enforcement Actions

San Francisco

Ken Herzinger is a partner in the White Collar, Investigations, Securities Litigation & Compliance Group in the San Francisco office. Ken was an attorney in the Enforcement Division of the U.S. Securities and Exchange Commission prior to joining private practice. His practice focuses on SEC investigations and enforcement actions, internal investigations, securities class actions, and ERISA class actions.


Ken has 20 years of experience as a securities litigator and has handled every type of SEC investigation and securities case, including new and developing areas like cybersecurity, blockchain, cryptocurrency, and SEC BSA/AML enforcement, and more traditional matters such as accounting and financial statement fraud, internal control over financial reporting (ICFR), disclosure controls and procedures, the Foreign Corrupt Practices Act (FCPA), insider trading, and Dodd-Frank and SOX whistleblower retaliation claims.

SEC and Regulatory: As a former SEC Enforcement attorney, Ken has successfully represented corporations, officers and directors, financial institutions, broker-dealers, auditors, and government municipalities in dozens of high profile investigations and enforcement proceedings by the SEC, U.S. Attorney's Office, PCAOB, and self-regulatory organizations such as FINRA.

Internal Investigations: Ken has conducted numerous global and domestic internal investigations for public and private companies and audit committees regarding a myriad of issues including accounting fraud, ICFR, disclosure controls and procedures, the FCPA, insider trading, and whistleblower retaliation claims.

Securities Class Actions:  Ken has also represented officers and directors and public companies in many high stakes securities class actions. He has tried cases in federal and state court and in arbitration proceedings, and was a member of the trial team which obtained a defense verdict in one of only several securities class action jury trials in the country to be tried to verdict.

ERISA Class Actions:  Ken has successfully defended companies and ERISA plan fiduciaries in ERISA class actions and has a strong track record of defeating the cases at the motion to dismiss stage.  Representative cases include: In re Chesapeake Energy Corp. 2012 ERISA Class Litigation, 2013 WL 5596908 (W.D. Okla. 2013)(Won a motion to dismiss an ERISA class action on behalf of Chesapeake Energy Corporation and its 401(k) Plan fiduciaries); Tomassini v. Oracle Corporation ERISA Class Action, Case No. 3:16-cv-03583-EMC (N.D. Cal. 2016)(Obtained a voluntary dismissal of an ERISA class action on behalf of Oracle Corporation and its 401(k) Plan fiduciaries.); Scholl v. Chesapeake Energy Corporation, et al. ERISA Litigation, Case No. civ-17-279-R (W.D. Okla. 2017)(Obtained a voluntary dismissal of an ERISA class action on behalf of Chesapeake Energy Corporation and its 401(k) Plan fiduciaries in an ERISA class action.); Gernandt v. SandRidge Energy Corporation, Case No. civ-15-834-D (W.D. Okla. 2018)(Obtained a dismissal with prejudice on behalf of SandRidge Energy Corporation and its 401(k) Plan fiduciaries in an ERISA class action).

Ken frequently lectures on and provides training for publicly traded companies and directors and officers on regulatory matters, corporate governance, and compliance.

His clients include: Broadcom Corporation, Charles Schwab, Chesapeake Energy Corporation, McAfee, Oracle Corporation, SandRidge Energy, Walmart, and Western Union.